Richard B. Motten
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Barclay Motten, who also goes by Dick Motten, Richard B Motten, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2013 - January 3, 2019
CADARET, GRANT & CO., INC.
November 15, 2013 - January 3, 2019
CADARET, GRANT & CO., INC.
August 7, 2006 - November 15, 2013
OBS FINANCIAL
February 24, 2005 - August 7, 2006
OBS BROKERAGE SERVICES, INC.
November 4, 2002 - November 15, 2013
OBS BROKERAGE SERVICES, INC.
June 29, 1995 - November 22, 2002
VESTAX SECURITIES CORPORATION
March 3, 1995 - July 10, 1995
WMA SECURITIES, INC.
April 7, 1994 - March 27, 1995
VESTAX SECURITIES CORPORATION
August 19, 1992 - December 31, 1993
CADARET, GRANT & CO., INC.
August 31, 1989 - August 27, 1992
GUARDIAN INVESTOR SERVICES LLC
May 24, 1988 - September 5, 1989
CONTINENTAL CAPITAL SECURITIES, INC
March 17, 1983 - June 14, 1988
NEW ENGLAND SECURITIES
January 19, 1979 - April 5, 1983
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/17/1979
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
